Independent BDs

The major employer-plan group had previously been affiliated with the predecessor of Global Retirement Partners.

The requirement is back in the spotlight as consumer advocates and business interests face off on proposal to outlaw this key provision of customer agreements.

The 7,500-advisor network agreed to buy certain assets of Foresters Financial’s U.S. BD and RIA.

An upcoming integration with AdvicePay marks the first step in a series of changes to recruiting and service at KMS under Erinn Ford.

Having ‘fessed up to improper 12b-1 fee disclosures, dually registered advisors might still be excluded by FINRA.

A CFP and former NDSU Bison aims to build a planning-based business from the ground up under the IBD’s model.

The Ladenburg IBD failed to spot the red flags of a barred ex-advisor who later pleaded guilty to fraud, former clients say.

Dan Arnold received $7.1 million in 2018, far below the longer-tenured chiefs of rival firms Ameriprise and Raymond James.

Arkadios Capital poached three advisors from its founders’ former firm after its revenue more than tripled in 2018.

The regulator is going back to some of the firms that voluntarily settled, requesting information on revenue sharing.